Sec Disciplines Brokerage, 5 Employees

The Securities and Exchange Commission Thursday accused Prudential-Bache Securities Inc. of failing to supervise its employees and ordered the brokerage to review its supervisory procedures.

Mismanagement at Prudential-Bache's offices in Jacksonville and Atlanta during 1982 and 1983 led to the agency's action Thursday. The SEC also restricted activities of five current and former employees of those offices.

''This is probably the most significant action against a major brokerage alleging failure to properly supervise personnel,'' said an SEC official who spoke only on condition that his name be withheld. He noted that the SEC has made similar allegations against Prudential-Bache four other times since 1982. Peter Costiglio, spokesman at Prudential-Bache's New York headquarters, said that his brokerage has consented to the SEC's orders without admitting or denying guilt. Prudential-Bache hired Mahlon Frankhauser, a lawyer based in Washington, D.C., to review its supervisory procedures.

In Thursday's actions against individuals, the SEC accused:

-- Sam Kalil Jr. of moving about $2 million from some customer accounts to other customer accounts. Kalil, formerly assistant manager of Prudential- Bache's Jacksonville office, was fired by the brokerage in 1983. The SEC Thursday prohibited Kalil from associating with any brokerage or investment company for an indefinite amount of time.

-- James Moore of forging customer signatures. Moore, formerly a broker in the brokerage's Jacksonville office, was fired a few months ago. The SEC prohibited Moore from associating with any brokerage or investment company for 60 days.

-- John Solomon of failing to follow Prudential-Bache procedures when he was branch manager in Jacksonville. The brokerage demoted Solomon to broker in 1983. The SEC has prohibited him from assuming any supervisory position for one year.

-- Richard Saccullo of failing to supervise his employees and failing to follow Prudential-Bache procedures when he was branch manager in Atlanta. Since 1983, the brokerage promoted Saccullo to director of its Southeast region, a position he no longer will hold. The SEC prohibited him from associating with any brokerage for 45 days and from assuming any supervisory position for 18 months.

-- David Scharps of making false statements to customers and withholding information. Scharps quit as a broker in Prudential-Bache's Atlanta office a few years ago. The SEC filed a complaint against him Thursday.